Associate, Trade Surveillance
New
CanadaFull-TimeMiddle
Salary not disclosed
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Job Details
- Experience
- 3+ years
- Required Skills
- PythonSQLData AnalysisCompliance
Requirements
- 3+ years of experience in investment industry compliance, preferably within trade surveillance or market surveillance functions.
- Strong knowledge of Canadian securities regulations, including UMIR and CIRO Dealer Member rules.
- Excellent analytical skills with strong attention to detail and sound judgment in ambiguous situations.
- Experience working with data tools such as SQL or Python; familiarity with analytics platforms is an asset.
- Strong communication and interpersonal skills with the ability to collaborate across technical and non-technical teams.
- Ability to connect regulatory requirements with real-world trading and business scenarios.
- Strong problem-solving mindset with a proactive and investigative approach.
Responsibilities
- Conduct daily Tier 1 trade surveillance reviews across multiple asset classes including equities, options, crypto, futures, and other instruments.
- Review and action automated surveillance alerts, as well as perform manual monitoring of trading activity.
- Analyze client trading behaviour to identify potential market abuse, policy breaches, or regulatory concerns.
- Investigate suspicious activity and prepare clear escalation reports for further review or action.
- Support regulatory submissions, audits, and external examinations related to trade surveillance.
- Assist in maintaining and improving surveillance policies, procedures, and alert tuning processes.
- Contribute to effectiveness testing of surveillance controls and risk monitoring frameworks.
- Collaborate with internal teams to promote compliance awareness and ensure alignment with regulatory requirements.
- Document findings accurately and participate in knowledge sharing and team discussions.
- Ensure daily activities align with the firm’s risk appetite, compliance standards, and regulatory obligations.
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